Our Staff has compiled our research into a database of FINRA Broker Disclosures for Wells Fargo Advisors Financial Network, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Bruce Roberts | 1540198 | 3 | 05/22/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Lisa Thorpe | 2196246 | 1 | 05/05/2020 | Customer Dispute | Settled | $40,000.00 | $0.00 | See FINRA Report |
| John Gerard Arensdorf | 1798680 | 3 | 04/21/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Steven Earl | 2267686 | 2 | 04/10/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| John Kellar | 1436046 | 6 | 04/06/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| William Lewis | 1540541 | 1 | 04/02/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Eddy Joseph Gutierrez | 2247435 | 2 | 03/12/2020 | Customer Dispute | Settled | $47,000.00 | $0.00 | See FINRA Report |
| Alexander Steven Batt | 2967019 | 2 | 01/21/2020 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |
| Lester Walker Dennis | 4270584 | 1 | 01/14/2020 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Todd Finkel | 4031967 | 1 | 12/13/2019 | Customer Dispute | Settled | $0.00 | $0.00 | See FINRA Report |